Hybrid OSJ Supervisor Associate at PrimeLending, a PlainsCapital Company
PrimeLending, a PlainsCapital Company · Dallas, United States Of America · Hybrid
- Professional
- Office in Dallas
Hilltop Securities is currently looking to hire an OSJ Supervisor Associate in Dallas, Texas. The OSJ Supervisor Associate will support the supervisory functions of the VP, Wealth Management Sales Supervision and assist the Regional OSJ Supervisors.
Responsibilities
- Communicate with various department heads as a liaison on behalf of the Sales Supervisor department.
- Assist with supervising sales activity of registered representatives as needed, including approving account applications and direct business transmittals, trade review
- Support VP, Wealth Management Sales Supervision and OSJ Managers
- Maintain various department books and records requirements.
- Manage document flow and filing as well as maintain Financial Advisor records.
- Review reports and follow up when necessary.
- Communicate with Financial Advisors by e-mail and telephone when necessary.
- Monitor and communicate with Financial Advisors to insure their compliance with continuing education and compliance requirements by the required deadlines.
- Additional responsibilities as assigned by Supervisor
Qualifications
- Bachelor’s degree.
- 2 – 3 years of Financial Services industry experience required.
- Previous compliance and/or supervisory experience preferred.
- FINRA Series 7, 24 and 63 a plus.
- PC literacy with an emphasis on MS Office Word, Excel, and Outlook.
- Respond to moderately complex issues and problems efficiently and effectively while meeting multiple deadlines.
- Aptitude for analysis, investigation & problem solving.
- Demonstrated ability to cope with change and ability to manage multiple priorities.
- Strong oral/written communication skills and demonstrated organization skills
About Company
HilltopSecurities’ Wealth Management department values its relationship-based approach to serving clients. Through our Private Client Group, we provide highly customized sound financial planning across a range of investment objectives and products. Our Wealth Management professionals deliver a full suite of services for investors such as helping to build wealth, analyzing financial status and goals, advising on investment strategies, developing new business opportunities, and welcoming new clients. You will also be able to learn and deliver behavioral financial concepts to clients, forge relationships with community and business leaders, and learn from experienced financial professionals about how to fully support the individuals you serve. Our Clearing department supports more than 130 broker-dealers and Registered Investment Advisors who provide institutional and financial services through industry experts. We aim to mitigate risk, realize competitive returns, and meet investing objectives. As one of the nation’s largest licensed broker-dealer clearing firms, we are focused on building long-term client relationships based on trust and personal service. As a part of our Wealth Management team, you will also be encouraged to take advantage of our professional development opportunities. This includes FINRA series exam sponsorship, tuition reimbursement, working with a mentor, and support from employees of all levels. Wealth Management at HilltopSecurities will give you the fulfilling experience of building meaningful relationships that allow you to fully serve clients in their best interest.
Company
At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success. As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank, and PrimeLending, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.
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